Category: Private placements
Erez Law is currently investigating Royal Alliance Associates, Inc. broker Mark Young (CRD# 1800687) regarding private placement investment losses. Mark Young has been registered with Royal Alliance Associates, Inc. in Topeka, Kansas since 2006. Mark Young Customer Complaints Mark Young … Continue reading
Erez Law is currently investigating Delta Securities Company, LLC broker Sean Casterline (CRD# 2212919) regarding private placements investment losses. Sean Casterline has been registered with Delta Securities Company, LLC in Maitland, Florida since 2002. In December 2021, FINRA sanctioned Sean Casterline … Continue reading
Were you the victim of NTB Financial Corp. broker George McCaffrey III (CRD# 847377) regarding private placement investment losses? George McCaffrey III was registered with NTB Financial Corporation in Englewood, Colorado from 1989 to 2017. In June 2021, FINRA barred George … Continue reading
Former Purshe Kaplan Sterling Investments broker Tonya Smoake (CRD# 4985049) was suspended by FINRA regarding her participation in private securities transactions. Tonya Smoake was registered with Bhargava Capital in Franklin Lakes, New Jersey from 2019 to 2020. Previously, Tonya Smoake … Continue reading
Can I recover losses from investments with former JPMorgan Chase Bank, N.A. broker Robert Douglass (CRD# 4262487), who is accused of recommending unsuitable private placements? Robert Douglass has been registered with Arkadios Capital in Atlanta, Georgia since November 2021. Previously, Robert … Continue reading
Did former Sagepoint Financial, Inc. broker David Adams (CRD# 1575083) recommended unsuitable investments, including GPB Capital Holdings’ private placements? David Adams has been registered with Ameriprise Financial Services, LLC in Jacksonville, Florida since 2018. Previously, David Adams was registered with Sagepoint … Continue reading
There are options for clients of broker David Volpe (CRD# 2543478) who suffered investment losses. David Volpe was registered with First Financial Equity Corporation in Scottsdale, Arizona from January to May 2019, when he was terminated regarding, “Failure to notify … Continue reading
Erez Law is currently investigating former David Lerner Associates, Inc. broker Jeffrey Basford (CRD# 5077566) regarding energy sector losses. He was registered with David Lerner Associates, Inc. in Westport, Connecticut from 2006 until 2022. It is alleged that he recommended … Continue reading
Were you the victim of Westpark Capital, Inc. broker Richard Rappaport (CRD# 1885122)? Richard Rappaport has been registered with Westpark Capital, Inc. in Los Angeles, California since 1999. In November 2021, FINRA suspended Richard Rappaport for 15 months from any … Continue reading
Erez Law is currently investigating former FSC Securities Corporation broker Brian Pearce (CRD# 1334784) regarding losses due to investments in Future Income Payments, LLC (FIPs). Brian Pearce was registered with World Equity Group, Inc. in Winter Haven, Florida from 2019 … Continue reading